FTA BUS SAFETY

1

• FTA BUS SAFETY SECURITY PROGRAM
• TRANSIT SAFETY, SECURITY, and EMERGENCY
  PREPAREDNESS PRESENTATION
• CalACT Spring Conference 2009
• Presenter Ream Lazaro

2

• Overview of the FTA Transit Bus Safety
  Security Program
• Federal Transit Administration
• Office of Program Management
• Office of Safety and Security

3
Program BACKGROUND

• How did the program evolve?
• History of Bus Program
• NTSB Recommendations to US DOT
• Initial Model Program Development
• Difficulties with Initial Model Program
• New Bus Program Initiative

4
Specific NTSB Recommendations to US DOT

• Develop implement oversight program to assess
  ensure safety of transit bus operations that
  receive Federal funding (H-98-43)
• Collect accurate, timely, sufficient data so
  thorough assessments can be made relating to
  transit bus safety (H-89-44)
• Evaluate collected data to identify underlying
  causes of transit bus accidents which lead to
  identification of safety deficiencies at transit
  agencies (H-98-45)
• Develop, in cooperation w/ APTA, CTAA, AASHTO,
  model comprehensive safety program(s) provide
  to all transit agencies (H-98-46)

5
Initial Model Program Development

• Memorandum of Understanding for Model Program
  Development (H-98-46) was signed by FTA APTA,
  CTAA, AASHTO
• A Model Program was drafted which set forth
  core enhanced program elements

6
Difficulties with Initial Model Program

• Single model developed for all transit agencies
  regardless of size or operating characteristics
  one size did not fit all
• Core enhanced elements of Model were difficult
  for transit systems to interpret apply to their
  individual operating realities
• Coordination with involvement of State DOTs in
  addressing Model Program implementation for small
  urban rural transit agencies was limited
• Model Program never moved out of draft stage

7
New Bus Program Initiative

• FTA re-birthed re-energized its Transit Bus
  Model Program in 2005
• Established Working Group of MOU partners
  industry stakeholders to assist in Program
  design/development
• Renamed program FTA Transit Bus Safety and
  Security Program since no single model will be
  offered

8
New Program Initiative contd
New Bus Program Initiative

• New Program tasked with providing voluntary
  guidelines for safety, security emergency
  preparedness that are flexible beneficial to
  all size transit agencies
• New Program is dynamic, ongoing designed to be
  responsive to changing needs in the transit
  safety security environment
• New Program is focused on needs of rural small
  urban transit while still embracing larger bus
  agency mission

9
Program FOUNDATION

• What is the Program infrastructure?
• Scope of New Program
• Program Building Blocks
• Make up of Working Group
• Responsibilities of Working Group
• Program Guideline Elements
• Technical Assistance Info Database

10
Scope of New Bus Safety Security Program

• Establish Working Group of MOU partners key
  stakeholders
• Research bus transit industry safety, security
  emergency preparedness needs
• Develop guidelines for bus safety, security
  emergency preparedness excellence
• Identify safety/security gaps between guidelines
  existing performance within small, medium,
  large transit operations

11
Program Scope contd
Scope of New Bus Safety Security Program

• Collect and/or develop technical assistance
  information/materials to fill identified
  safety/security gaps
• Create mechanisms for agencies to access
  technical assistance information
• Monitor Bus Transit Safety Security Program
  outcomes on ongoing basis re-engineer needs,
  guidelines technical assistance information as
  necessary

12
Bus Program Building Blocks
Bus Program Building Blocks

• Utilize Working Group to assist in creation of
  general template for safety, security emergency
  preparedness activities involving transit systems
  of varying sizes operating characteristics
• Create set of comprehensive flexible guidelines
  for elements that individual transit agencies
  should address in their safety, security
  emergency preparedness programs
• Create questionnaire for identifying best
  practices gaps during voluntary on-site reviews
  of individual transit agency safety, security
  emergency preparedness activities

13
Building Blocks contd
Bus Program Building Blocks

• Research existing transit operation materials
  including policies, procedures, protocols, forms,
  handbooks, lesson plans, other technical
  assistance materials to identify useful templates
  
• Utilize Working Group to provide input on
  technical assistance material review selection
• Develop new technical assistance materials to
  fill gaps identified when researching existing
  industry materials
• Construct information technology mechanism to
  house technical assistance materials allow
  access to materials by transit providers

14
Working Group Make-up

• MOU Partner representatives including APTA, CTAA,
  AASHTO
• Representatives from small, medium, large bus
  transit agencies
• Representatives from State DOTs
• Representatives from Federal partners, including
  Transportation Security Administration (TSA),
  Federal Highway Administration (FHWA), National
  Rural Transit Assistance Program (NRTAP)
• Other key industry stakeholders

15
Working Group Responsibilities

• Provide input to FTA on Bus Safety Security
  Program design implementation
• Assist in identification screening of technical
  assistance material
• Assist in outreach delivery of Bus Safety
  Security Program initiatives

16
Bus Safety Security Guidelines

• Elements of Bus Safety Security Excellence
• Management
• Equipment, Systems Operation and Maintenance
• Human Resources
• Safety Activities
• Security Activities
• Emergency / All-hazards Management

17
Creation of Technical Assistance Database

• Purpose
• Build continuously update collection of
  transit industry safety security best practices
  including policies, procedures, protocols, forms,
  handbooks, lesson plans, other technical
  assistance materials that can be used to fill
  individual agency gaps based on identified need
• Process
• Based on Guideline of Elements for Safety,
  Security Emergency Preparedness Excellence
  Research, review, select categorize existing
  transit industry technical assistance materials
  from all available sources. Develop new
  materials where no appropriate existing materials
  are identified.

18
Program DELIVERY

• How is the Program accessed
• Voluntary On-site Reviews
• Self Assessment Tool
• Web Site Resource Library
• Workshops, Training Outreach
• State DOTs
• Transit Associations

19
Voluntary On-Site Reviews
Voluntary On-site Reviews

• Solicit volunteer transit agencies of varying
  sizes, operating characteristics locations to
  participate in on-site reviews
• Conduct on-site review of volunteer agency
  safety, security emergency preparedness
  activities using assessment questionnaire as
  catalyst for discussion
• Develop post-site review report identifying
  agency best practices gaps. Include
  recommendations for improvement.
• Provide technical assistance materials to agency
  from Program resource library as may be
  appropriate / helpful

20
Self Assessment Tool

• Consistent with on-site review findings, define
  categories of transit agency activity in safety,
  security emergency preparedness that lead to
  performance excellence
• Create on-line assessment instrument, based on
  defined categories, for individual transit
  agencies to identify their safety, security
  emergency preparedness best practices, gaps,
  needs.

21
Self Assessment Tool

• Link post-self assessment identification of gaps/
  needs to appropriate web site resource library
  materials to assist agency in filling those gaps
  / needs.
• Encourage transit agencies, in lieu of on-site
  review, to utilize this tool as mechanism for
  achievement of safety, security emergency
  preparedness excellence.

22
Web Site Resource Library

• Create web site for electronic access of
  technical assistance information of transit
  safety, security emergency preparedness best
  practices.
• Construct log on methodology to capture
  individual transit system operational
  characteristic baseline information.
• Assign password for ongoing agency access to web
  site resource library.

23
Web Site Library contd
Web Site Resource Library

• Direct transit agencies to web site Self
  Assessment Tool to complete a safety, security
  emergency preparedness self assessment.
• Link post-assessment results to technical
  assistance materials to assist filling gaps/needs
  identified during self assessment process.
• As best practices/needs in transit industry
  evolve, continuously add to, update, develop Web
  Site Resource Library technical assistance
  materials, including policies, procedures,
  protocols, forms, handbooks, lesson plans, other
  appropriate / helpful information.

24
Workshops, Training and Outreach

• Held State DOT Invitational Workshop. Other
  attendees - FTA headquarters/regional staff,
  Working Group members, other key industry
  stakeholders.
• State regional workshops co-hosted by FTA state
  DOTs to orient all state transit agencies on FTA
  Program.
• Develop / deliver regional specialized training
  workshops for appropriate transit agency staff on
  high priority safety, security emergency
  preparedness topics.
• Aggressively pursue opportunities for outreach to
  transit industry on bus transit safety, security,
  emergency preparedness concerns

25
Communication Paths for Program Success

• Program success depends on timely, effective
  pro-active communication between
• Internal FTA elements staff
• FTA other federal agencies
• FTA state DOTs
• FTA 5307 grant recipients
• State DOTs 5311 grant recipients
• FTA, MOU Partners, Working Group, other key
  stakeholders

26
Beneficiaries of FTA Bus Program

• Individual transit agencies
• Program provides mechanism to evaluate current
  safety, security emergency preparedness
  activities identify gaps/needs access
  technical assistance to meet gaps/needs to
  improve mission accomplishment
• Transit employees
• Program provides resources to assist in
  enhancement of individual technical skill sets
  safety, security emergency preparedness
  professionalism
• Transit passengers
• Program assists in decreasing operational safety
  risks to passengers while enhancing their
  security when using transit
• Communities transit serves
• Program emphasizes importance of transportation
  readiness to respond to community emergencies
  provides tools for carrying out that response

27
Beneficiaries of FTA Bus Program

• FTA and US Dept. of Transportation
• Program meets NTSB recommendations encourages
  achievement of safety, security emergency
  preparedness excellence within framework of
  nationally standardized guidelines
• Department of Homeland Security (DHS) other
  Federal agencies
• Program provides mechanism for FTA to partner
  with other federal agencies
• State DOTs
• Program provides guidance/support to state DOTs
  to assist in elevating level of safety, security
  emergency preparedness of bus transit agencies
  in their state
• Transit associations
• Program provides template for associations n
  designing safety, security emergency
  preparedness conference /workshop presentations
  technical assistance activities

28
TRANSIT BUS SAFETY AND SECURITY PROGRAM
Elements of Safety, Security Emergency
Preparedness Excellence

• FTA Transit Bus Safety and Security Program

29
Key Functions in Safety, Security Emergency
Preparedness

• Management
• Equipment and Systems Operations and Maintenance
• Human Resources
• Safety Activities
• Security Activities
• Emergency / All Hazards Management

30
Elements of Management Excellence

• Management Commitment
• Mission, Goals and Objectives
• Organizational Structure
• Safety Plan Development
• Security Plan Development
• Procurement Strategies
• Contractor Management
• Insurance
• Labor / Management Relations

31
Sub-elements of Management

• MANAGEMENT COMMITMENT
• Formally defined expressed
• Key stakeholders involved in decision making
• Approved plans procedures
• Input from employees, customers, community

32
Sub-elements of Management

• MISSIONS, GOALS OBJECTIVES
• Safety security captured in mission statement
• Safety security goals/objectives established
• Goals/objectives communicated to employees
• Goals/objectives achievement monitored

33
Sub-elements of Management

• ORGANIZATIONAL STRUCTURE
• Management employee roles defined
• Internal liaison for external contact identified
• Individuals tasked with safety and security
• Written job descriptions define roles
• Culture of open communication exists
• Safety security complaints documented

34
Sub-elements of Management

• SAFETY PROGRAM DEVELOPMENT
• Approved written safety plan
• Internal stakeholders input into plans
  procedures
• Plans/procedures shared with external
  stakeholders
• Safety plans/procedures reviewed/revised
  periodically

35
Sub-elements of Management

• SECURITY PROGRAM DEVELOPMENT
• Approved security/emergency preparedness plan
• Security plans coordinated with law enforcement
• Plans coordinated with emergency management

36
Sub-elements of Management

• PROCUREMENT STRATEGIES
• Safety and security included in strategies
• Safety/security concerns communicated to State DOT

37
Sub-elements of Management

• CONTRACTOR MANAGEMENT
• Formal contracts executed
• Language addresses safety, security, training
• Language addresses federal/state requirements
• Contracts specify penalties for non-achievement
• Mechanisms to ensure compliance

38
Sub-elements of Management

• INSURANCE
• Safety/security activities impacting costs
  identified
• Coverage of resources used in community
  emergencies

39
Sub-elements of Management

• LABOR / MANAGEMENT RELATIONS
• Positive relationship on safety/security concerns
• Employee input on hazards threats
• Mandatory safety security rules defined

40
Elements of Equipment System Operations
Maintenance Excellence

• Regulations Standards
• Safety Security in Design, Acquisition
  Procurement
• Passenger Operator Related Safety Concerns
• Maintenance Planning Guidance
• Maintenance Procedures
• Operations Maintenance Performance Measures
• Maintenance Records Documentation
• Hazardous Materials Program
• Radio / Communication Equipment

41
Sub-elements of Equipment / System Operations /
Maintenance

• REGULATIONS STANDARDS
• Access to federal guidelines/requirements
• Access to state guidelines/requirements

42
Sub-elements of Equipment / System Operations /
Maintenance

• SAFETY SECURITY IN DESIGN, ACQUISITION,
  PROCUREMENT
• Safety/security considered in design/construction
• Employee input into facility/vehicle
  safety/security
• OSHA type compliance monitored

43
Sub-elements of Equipment / System Operations /
Maintenance

• PASSENGER OPERATOR RELATED SAFETY CONCERNS
• Policies on
• refusal of service
• passenger oxygen tanks
• passenger emergencies
• bloodborne pathogens
• service animals
• wheelchair securement
• weight capacity for lifts

44
Sub-elements of Equipment /System Operations /
Maintenance

• MAINTENANCE PLANNING GUIDANCE
• Vehicle maintenance consistent w/accepted
  practices
• Written vehicle maintenance plan
• Facilities maintained consistent with
  safety/security
• Individual tasked with vehicle maintenance
  oversight

45
Sub-elements of Equipment / System Operations /
Maintenance

• MAINTENANCE PROCEDURES
• Standardized documentation exists
• Preventive maintenance meets vendor
  recommendation
• Vehicle defects documented on form
• Procedure exists for pulling vehicle out of
  service
• Documented pre/post trip inspections are required
• Vehicles equipped with basic safety equipment
• Alternative fuel vehicles maintained per
  guidelines

46
Sub-elements of Equipment / System Operations /
Maintenance

• OPERATIONS MAINTENANCE PERFORMANCE MEASURES
• Maintenance performance measures utilized
• Operations performance measures utilized
• Supervisor/ghost rider on-board audits

47
Sub-elements of Equipment / System Operations /
Maintenance

• MAINTENANCE RECORDS DOCUMENTATION
• Hard copy vehicle maintenance files
• Maintenance recording tracking system

48
Sub-elements of Equipment / System Operations /
Maintenance

• HAZARDOUS MATERIALS PROGRAM
• Formal hazmat inventory
• MSDS sheets
• Approved plan for hazmat disposal
• Employees trained on hazmat use / storage
• Approved plan for hazmat emergencies

49
Sub-elements of Equipment / System Operations /
Maintenance

• RADIO / COMMUNICATION EQUIPMENT
• Dispatcher/manager on duty all service hours
• Redundant communication
• Access to emergency response channels

50
Elements of Human Resources Excellence

• Agency Policies Procedures
• Drug Alcohol Program
• Workplace Violence
• Wellness / Fitness for Duty
• Operator / Employee Recruitment Selection
• Training Management
• Training Delivery
• Retraining Refresher Training
• Rules / Procedures Review

51
Sub-elements of Human Resources

• AGENCY POLICIES PROCEDURES
• Personnel policy
• Operations policy
• Driver handbook
• Customer service policy
• All policies disseminated signed for
• Personnel file confidentiality

52
Sub-elements of Human Resources

• DRUG ALCOHOL PROGRAM
• Access to all federal regulations
• Drug alcohol policy compliant
• Drug alcohol testing compliant
• Drug alcohol collection MRO compliant
• Substance abuse training
• Reasonable suspicion training
• Contractors monitored for compliance
• Drug alcohol program files locked
• Prescription/OCT medication addressed

53
Sub-elements of Human Resources

• WORKPLACE VIOLENCE
• Workplace violence prevention program
• Workplace violence training
• Employee assistance program or other counseling

54
Sub-elements of Human Resources

• WELLNESS / FITNESS FOR DUTY
• Formal plan for employee wellness/fitness
• Fatigue management issues training / monitored
• Driver medical examinations required at hire
• Driver medical exams required periodically
• Fitness for duty evaluations utilized, if
  necessary

55
Sub-elements of Human Resources

• RECRUITMENT, SELECTION RETENTION
• Safety/security responsibilities within job
  functions
• Job descriptions reviewed / updated periodically
• Targeted recruitment
• Formal employment / screening process
• Employment application information verified
• Structured interview process documented
• Driver license checks at hire and annually
  thereafter
• NCI checks performed at hire
• Employee commendation / incentive programs
• Formal annual evaluations conducted
• Coaching, counseling, retraining, discipline
  documented
• Behind the wheel evaluations performed /
  documented

56
Sub-elements of Human Resources

• TRAINING MANAGEMENT DOCUMENTATION
• Comprehensive training needs analysis
• Training / development plan
• Initial / refresher training efforts funded
• Training records complete / comprehensive

57
Sub-elements of Human Resources

• TRAINING DELIVERY
• Formally trained full / part-time agency trainers
• Lesson plans / curriculum
• Prepackaged training modules
• Drivers trained on reacting to dangerous
  passengers
• Drivers trained on reacting to vehicle fires
• Documented orientation on all vehicle prototypes
• Dispatcher/mechanics/supervisor appropriate
  training
• Drivers trained on
• Pre/post trip inspections - Communication
  protocols
• Defensive driving - Bio-hazards
• Passenger sensitivity/assistance - Emergency
  procedures
• Security awareness / response

58
Sub-elements of Human Resources

• RETRAINING REFRESHER TRAINING
• On-going refresher training plans
• Drivers re-trained based on performance issues
• All training/retraining documented

59
Sub-elements of Human Resources

• RULES / PROCEDURES REVIEW
• Safety/security policies periodically reviewed
• Timely employee orientations on revised policies

60
Elements of Safety Activities Excellence

• Roles Responsibilities
• Hazard Management
• Accident Reporting, Investigation Review
• Safety Data Acquisition Analysis
• Internal Safety Audit Review Process
• Contractor Safety Audits

61
Sub-elements of Safety Activities

• ROLES RESPONSIBILITIES
• Clearly identified safety priorities / strategies
• Safety records used to establish priorities
• Safety roles / responsibilities identified
• Periodic documented safety meetings

62
Sub-elements of Safety Activities

• HAZARD MANAGEMENT
• Formal process for identifying safety risks
• Safety risks analyzed for impact
• Risk reduction activities formalized /
  prioritized
• Safety risks impact formally documented
• Protocol for receiving info on weather / hazards

63
Sub-elements of Safety Activities

• ACCIDENT REPORTING, INVESTIGATION REVIEW
• Formal vehicle accident guidelines / protocols
• Formal passenger incident guidelines / protocols
• Formal employee accident/incident
  guidelines/protocol
• Trained on written accident investigation
  procedures
• Accident/incident report forms
• Document accident/incident probable cause
• Accidents/incidents reviewed for proper action
  taken
• Accidents/incidents evaluated to reduce
  re-occurrence
• Preventable/non-preventable determination
  documented
• Employee responsibility assigned on preventable

64
Sub-elements of Safety Activities

• SAFETY DATA ACQUISITION ANALYSIS
• All safety related data collected / recorded
• Data includes accidents/incidents/near misses
• Importance of reporting data emphasized
• Safety related data periodically analyzed for
  trends
• Use safety trends to determine proactive measures

65
Sub-elements of Safety Activities

• INTERNAL SAFETY AUDIT REVIEW PROCESS
• Documented periodic facility inspections
• Documented periodic internal safety audits
• Action plans to improve safety performance

66
Sub-elements of Safety Activities

• CONTRACTOR SAFETY AUDITS
• Periodic / documented contractor safety audits
• Deficiencies reviewed for corrective action

67
Elements of Security Activities Excellence

• Threat Vulnerability Assessment
• Security Awareness Reporting
• Revenue Facilities Procedures
• Vehicle Storage Transit Facility Protection
• Security Data Acquisition Analysis
• Internal Security Audit Process
• Contractor Security Audits

68
Sub-elements of Security Activities

• THREAT VULNERABILITY ASSESSMENT
• Completed Threat Vulnerability Assessment
• Documented Critical Asset Analysis
• Threat information shared with law enforcement
• Employees provide input on security threats
• Emergency management provides input on threats
• Documented strategies to reduce vulnerabilities

69
Sub-elements of Security Activities

• SECURITY AWARENESS REPORTING
• Vehicles inspected for suspicious items
• Trained on how to report / react to security
  threats
• Protocol to report in-service security
  emergencies
• Transit Watch Program
• Security awareness materials distributed
• Frontline employees receive BOLO notices
• Vehicles kept under driver control at all times
• Employee photo ID badges
• Bomb threat protocols
• Computer security

70
Sub-elements of Security Activities

• REVENUE FACILITIES PROCEDURES
• Written security protocols for revenue handling
• Secure revenue handling area

71
Sub-elements of Security Activities

• VEHICLE STORAGE TRANSIT FACILITY PROTECTION
• Local security standards for vehicle storage
• Local security standards for facility security
• Facility access controlled
• Uniformed law enforcement visible deterrence

72
Sub-elements of Security Activities

• SECURITY DATA ACQUISITION ANALYSIS
• Security data collected / recorded
• Data includes actual events / perceived threats
• Good communication with law enforcement
• Good communication with emergency management
• Homeland Security Information Network Transit
• Data periodically reviewed for trends
• Identified trends determine proactive measures

73
Sub-elements of Security Activities

• INTERNAL SECURITY AUDIT PROCESS
• Periodic internal security audits
• Periodic internal security exercises

74
Sub-elements of Security Activities

• CONTRACTOR SECURITY AUDITS
• Periodic security related performance audits
• Contractor deficiencies reviewed / corrective
  action

75
Elements of Emergency/All Hazard Management
Excellence

• Preparation
• Incident Management
• Recovery
• Coordination with Emergency Responders
• Drills, Simulations Exercises

76
Sub-elements of Emergency / All Hazard
Management

• PREPARATION
• Formal SSEPP
• All-hazard emergency response protocols
• Protocols shared with external stakeholders
• Employees trained on protocols
• Written protocols for drivers/dispatchers/supervis
  or
• Agency resource capabilities / emergency
  management
• Reviewed community emergency management plan
• Agency call down lists to key external
  stakeholders
• Established triggers for service shutdown

77
Sub-elements of Emergency /All Hazard Management

• INCIDENT MANAGEMENT
• NIMS certified managers/supervisors
• Incident command training / frontline employees
• Employees trained on reacting to IEDs
• Externals trained on agency vehicle operation
  lifts
• Emergency radio protocols established
• Alternative emergency communication protocols
• Formal internal notification system
• Emergency information dissemination policy

78
Sub-elements of Emergency /All Hazard Management

• RECOVERY
• Post incident recovery strategy
• Formal after action reports on emergency events
• Prepared to document vehicle/staff use

79
Sub-elements of Emergency /All Hazard Management

• COORDINATION WITH EMERGENCY RESPONDERS
• Strong relationship with emergency management
• Strong relationship with local fire/police/EMS
• Staff trained by law enforcement/fire personnel
• Assists in identifying transit dependent
  individuals
• Transit staff attends LEPC meetings

80
Sub-elements of Emergency / All Hazard
Management

• DRILLS, SIMULATIONS EXERCISES
• Agency vehicles support community exercises
• Participate in community emergency simulations
• Agency internal emergency drills held
• Evaluate / document performance in all exercises

81

• STEPS FOR IMPLEMENTATION OF FTA BUS SAFETY
  SECURITY PROGRAM
• EXCELLENCE ELEMENTS

82
Steps for Implementation

• Using self-assessment instrument, evaluate agency
  safety, security emergency preparedness
• Strengths
• Gaps and needs
• Prioritize gaps needs to establish practical
  flexible action plan based on
• Criticality of identified gaps / needs
• Impact of gaps/needs on employees, passengers,
  community
• Reality of hazards, risks, threats within
  operating environment
• Limitations of budget, staffing, resources
• Utilize FTA Program website to download resources
  that assist filling gaps needs

83
Steps for Implementation

• Build action plan utilizing web resources that
  fill prioritized gaps needs to create
• New plans, policies and procedures
• New operating and maintenance protocols
• New documentation templates
• New employee training programs
• New human resource management practices
• New relationships with external stakeholders
• Carry out action plan, monitor progress,
  reengineer approach, as may be necessary

84

• THANK YOU VERY MUCH
• AND
• KEEP UP THE GREAT WORK